Unit Introduction and Overview

1. Unit Introduction and Overview • Unit objective: • Describe the elements of an effective vital records program.

2. Identifying and Safeguarding Vital Records • Electronic and hardcopy documents, references, and records needed to support essential functions during a COOP situation.

3. Identifying and Safeguarding Vital Records What are some examples of vital records?

4. Identifying and Safeguarding Vital Records • Examples: • Delegations of authority • Customer records • Financial records • Policies and Directives • Standard Operating Procedures

5. Identifying and Safeguarding Vital Records Categories of vital records: • Emergency operating records • Legal and financial rights records

6. Identifying and Safeguarding Vital Records • Two types: • Static records may change little or not at all. • Active records change constantly with circumstances or completed work.

7. Characteristics of an Effective Vital Records Program • An effective vital records program provides for: • Identification. • Protection. • Ready availability.

8. Components of an Effective Vital Records Program • Official establishment of the program and assignment of responsibility: • Specifies purpose and scope • Assigns roles and responsibilities • Provides for staff training • Requires periodic review and testing

9. Components of an Effective Vital Records Program • An appropriate medium for accessing vital records • within 12 hours of COOP activation: • LAN • Vital electronic records • Critical information systems and data • Internal and external e-mail and archives • Vital hardcopy records

10. Components of an Effective Vital Records Program • Maintenance of a complete inventory of records • Location after records • How to access information

11. Components of an Effective Vital Records Program • A risk assessment to: • Identify the risks involved if vital records are retained at their current locations and in their current media—and the difficulty of reconstituting them if they are destroyed. • Determine if offsite storage is necessary. • Determine if alternate storage media are advisable. • Determine if duplication is advisable.

12. Components of an Effective Vital Records Program • Selection of appropriate protection methods, including: • Dispersal to other locations • Special media needs

13. Components of an Effective Vital Records Program • Procedures for routinely updating vital records.

14. Components of an Effective Vital Records Program • Identification of records recovery experts and vendors to assist with recovery in the event of damage or loss.

15. Components of an Effective Vital Records Program • Development and maintenance of a vital records packet that includes: • A list of key personnel and disaster staff with up-to-date telephone numbers. • A vital records inventory with precise locations of all vital records. • Necessary keys and/or access codes. • Alternate operating facility locations.

16. Components of an Effective Vital Records Program • Development of training for all involved staff: • Periodic briefings to managers • Staff training

17. Components of an Effective Vital Records Program • Periodic program review that: • Addresses new security issues. • Updates information. • Identifies additional vital records. • Provides an opportunity to familiarize staff with the program.

18. Components of an Effective Vital Records Program • Testing capabilities for: • Protecting classified and unclassified vital records and databases. • Providing access to vital records from alternate operating facilities.

19. What information do you need to know or consider to establish a COOP vital records program? Group Discussion: Establishing a Vital Records Program

20. Summary and Transition • This unit: • Introduced safeguarding vital records. Next unit: • Selecting Alternate Facilities (Unit 6)

21. Summary and Transition • Questions?